We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.


Results 1 to 5 of 22
Most popular |Most recent

SEC Proposes Rule Requiring Registered Investment Advisers to Adopt Business Continuity and Transition Plans

USA - July 14 2016 On June 28, 2016, the Securities and Exchange Commission (the SEC) proposed Rule 206(4)-4 under the Investment Advisers Act of 1940 that would...

David E. Wohl, Venera Ziegler, Gregory A Denis.

Please Buckle Your Seatbelts and Check Your D&O Insurance: A Gloomy Forecast Is Ahead

USA - April 18 2016 Despite the initial glee of the prospect of a United States that was independent of Middle East oil, beginning in the fourth quarter of 2014, the...

Ronit J. Berkovich.

The Threat of Ransomware to Private Equity Firms

USA - March 1 2016 As noted by one well-known commentator in the cybersecurity space, Graham Cluley, “Online extortion - whether it be by ransomware encrypting victims’...

Did the regulatory cybersecurity shoe just drop? The SEC enforcement action in in re R.T. Jones Capital Equities Management, Inc.

USA - September 24 2015 Just days after the SEC's Office of Compliance Inspections and Examinations ("OCIE") issued its second round of cybersecurity guidance for its...

David E. Wohl.

OCIE publishes risk alert regarding cybersecurity examination initiative for registered investment advisers and broker-dealers

USA - September 21 2015 Continuing its focus on cybersecurity issues, on September 15, 2015, the SEC's Office of Compliance Inspections and Examinations (OCIE) published a...

David E. Wohl.